Regulation and compliance
Regulation
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Members of the Securities and Exchange Commission on Thursday addressed confusion among issuers, broker-dealers and investors regarding disclosure.
December 7 -
Republican Rep. Randy Hultgren co-founded the group in March 2016 with Rep. Dutch Ruppersberger of Maryland, who will continue as the Democratic co-chair.
December 5 -
Todd Barker was one half of a duo the SEC said engaged in a $62 million fraudulent senior housing bond scheme.
December 5 -
Moody’s said the plant closure would have “a pronounced negative effect on Trumbull County’s economy.”
December 4 -
Market groups welcomed the MSRB’s announcement of EMMA’s readiness.
December 4 -
Now that the SEC has approved the MSRB's proposal to require MA principals to pass a new exam, a content outline and pilot program are on the horizon.
November 29 -
The Mojave Desert city will soon be current on bonds that led the city to a bond fraud settlement with the SEC.
November 28 -
SIFMA and BDA responded to the MSRB's request for comment on muni indices and benchmarks, and transparency was a major theme.
November 28 -
The lame duck session of Congress that convened this week may include passage of a tax bill released Monday night by Rep. Kevin Brady, R-Texas, the outgoing chairman of the House Ways and Means Committee.
November 27 -
Operators of Texas nursing homes will make another attempt to boost reimbursement rates in the 2019 Legislature as the state's "silver tsunami" gains momentum.
November 26 -
The choice appears to reaffirm U.S. regulators' commitment to the international standards-setting body.
November 26 -
After last week's revelations about alleged wrongdoing by CMEEC officers, the issuer has appointed a special committee to oversee its own investigation.
November 21 -
Once a high-profile story of fiscal mismanagement, D.C. is now providing an example other large cities are exploring for themselves.
November 20 -
Connecticut Municipal Electric Energy Cooperative officials allegedly used CMEEC funds for lavish trips to the Kentucky Derby and a luxury golf resort in West Virginia.
November 19 -
Treasurer Denise Nappier said a lottery revenue infusion and asset transfers could pump $3 billion into the Teachers' Retirement Fund.
November 19 -
Gov.-elect Laura Kelly will enjoy rising revenues and prospects for Medicaid expansion but still faces a GOP-dominated legislature.
November 19 -
Underwriters and issuers alike have complained about the nature of disclosures under current guidance to the MSRB's rule G-17.
November 16 -
The Senate's approval of the Kansas banking commissioner leaves the board with two remaining seats to fill as the administration's nominees for the vacancies await votes.
November 15 -
A federal court imposed an unusually stiff financial penalty and a lifetime ban against the already-jailed Christopher St. Lawrence.
November 15 -
The goal of a rating agency is to facilitate commerce and to protect investors, according to Kroll Bond Rating Agency’s CEO James Nadler. He and managing director William Cox also discuss the effort to foster a healthy dialogue with investors. John Hallacy is host.
November 15















